Form D · Hedge Fund

SMC Alpha Plus Fund, LP

New York, NY · CIK 0001599551

Offering snapshot reported Feb 13, 2017 · SEC filing

Reported sold
$14M
Indefinite offering
Investors reported
7
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Feb 1, 2014
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$7.02M$14MFeb 18, 2014: $5,589,972.00Feb 18, 2014Feb 19, 2015: $11,239,972.00Feb 19, 2015Feb 9, 2016: $14,046,096.00Feb 9, 2016Feb 13, 2017: $14,046,096.00Feb 13, 2017

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Feb 13, 2017Amendment$14,046,096$0vs Feb 9, 20167SEC filing
Feb 9, 2016Amendment$14,046,096$2,806,124vs Feb 19, 20157SEC filing
Feb 19, 2015Amendment$11,239,972$5,650,000vs Feb 18, 20147SEC filing
Feb 18, 2014Initial$5,589,972No comparison2SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-212063

Source: Form D, filed Feb 13, 2017. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

SMC ALPHA PLUS FUND, LP

Investment adviser: SPRING MOUNTAIN CAPITAL, LP

Gross asset value
$13.9M
Beneficial owners
5
ADV minimum commitment
$1M

Reported in Form ADV on May 30, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Auditor KPMG LLP NEW YORK, New York, United States
Custodian MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NEW YORK, New York, United States Related to adviser: No
Custodian STIFEL, NICOLAUS & COMPANY, INCORPORATED ST. LOUIS, Missouri, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SEC 8-7221

STIFEL, NICOLAUS & COMPANY, INCORPORATED
SEC 8-1447

Filing source

Form ADV 1118865 · May 30, 2017 · Schedule D 7.B.(1), fund 805-8417080145

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Gregory P. Ho Director, Executive
John L. Steffens Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
650 Madison Avenue 20th Floor
New York, NY, 10022